15 U.S.C. 78m: Periodical and other reports

2022

• Pub. L. 117–263 added subsec. (s). (James M. Inhofe National Defense Authorization Act for Fiscal Year 2023) Law text · (s)

2015

• Pub. L. 114–94, §86001(c)(1)(A), substituted "make available security-based swap" for "make available all" in introductory provisions. (Fixing America's Surface Transportation Act" or the "FAST Act) Law text · (n)
• Pub. L. 114–94, §86001(c)(1)(B), added subcl. (IV) (Fixing America's Surface Transportation Act" or the "FAST Act) Law text · (n)
• Pub. L. 114–94, §86001(c)(2), added subpar. (H) and struck out former subpar. (H) which related to confidentiality and indemnification agreement. (Fixing America's Surface Transportation Act" or the "FAST Act) Law text · (n)

2012

• Pub. L. 112–106 inserted at end of concluding provisions "In any registration statement, periodic report, or other reports to be filed with the Commission, an emerging growth company need not present selected financial data in accordance with section 229.301 of title 17, Code of Federa… (Jumpstart Our Business Startups Act) Law text · (a)
• Pub. L. 112–158 added subsec. (r). (Iran Threat Reduction and Syria Human Rights Act of 2012) Law text · (r)

2010

• Pub. L. 111–203, §985(b)(4), substituted "earnings statement" for "earning statement". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (b)
• Pub. L. 111–203, §982(h)(3), amended Pub. L. 107–204, §109. See 2002 Amendment note below. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (b)
• Pub. L. 111–203, §929R(a)(1), in introductory provisions, inserted "or within such shorter time as the Commission may establish by rule" after "within ten days after such acquisition" and struck out "send to the issuer of the security at its principal executive office, by registered… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (d)
• Pub. L. 111–203, §766(b)(1), in introductory provisions, inserted "or otherwise becomes or is deemed to become a beneficial owner of any of the foregoing upon the purchase or sale of a security-based swap that the Commission may define by rule, and" after "section 1629c(d)(6) of title 43,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (d)
• Pub. L. 111–203, §929R(a)(2), struck out "in the statements to the issuer and the exchange, and" after "facts set forth" and "shall be transmitted to the issuer and the exchange and" after "an amendment". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (d)
• Pub. L. 111–203, §991(b)(2)(A), substituted "paragraph (4)" for "paragraphs (5) and (6)". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (e)
• Pub. L. 111–203, §991(b)(2)(B), (C), added pars. (4) to (6) and struck out former pars. (4) to (6) which related to offsetting collections, annual adjustment of rate, and final rate adjustment, respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (e)
• Pub. L. 111–203, §991(b)(2)(D), struck out pars. (8) to (10) which related to review and effective date of adjusted rate, collection of fees upon lapse of appropriation, and publication of rate, respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (e)
• Pub. L. 111–203, §766(c), which directed insertion of "or otherwise becomes or is deemed to become a beneficial owner of any security of a class described in subsection (d)(1) upon the purchase or sale of a security-based swap that the Commission may define by rule," after "subsecti… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (f)
• Pub. L. 111–203, §929X(a), added par. (2) and redesignated former pars. (2) to (5) as (3) to (6), respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (f)
• Pub. L. 111–203, §929R(a)(3), struck out "shall send to the issuer of the security and" before "shall file" in introductory provisions. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §766(b)(2), in introductory provisions, inserted "or otherwise becomes or is deemed to become a beneficial owner of any security of a class described in subsection (d)(1) upon the purchase or sale of a security-based swap that the Commission may define by rule" after "subsection (d… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §929R(a)(4), struck out "sent to the issuer and" after "the statement" and "shall be transmitted to the issuer and" after "an amendment". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §763(i), added subsecs. (m) and (n). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (m), (n)
• Pub. L. 111–203, §766(e), added subsec. (o). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (o)
• Pub. L. 111–203, §1502(b), added subsec. (p). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (p)
• Pub. L. 111–203, §1504, added subsec. (q). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (q)

2002

• Pub. L. 107–204, §109(i), formerly §109(h), renumbered §109(i) by Pub. L. 111–203, §982(h)(3), added subpar. (C). (Sarbanes-Oxley Act of 2002) Law text · (b)
• Pub. L. 107–123, §5(1), substituted "a fee at a rate that, subject to paragraphs (5) and (6), is equal to $92 per $1,000,000 of the value of securities proposed to be purchased" for "a fee of 1/50 of 1 per centum of the value of securities proposed to be purchased". (Investor and Capital Markets Fee Relief Act) Law text · (e)
• Pub. L. 107–123, §5(2), added pars. (4) to (10). (Investor and Capital Markets Fee Relief Act) Law text · (e)
• Pub. L. 107–204, §401(a), added subsecs. (i) and (j). (Sarbanes-Oxley Act of 2002) Law text · (i), (j)
• Pub. L. 107–204, §402(a), added subsec. (k). (Sarbanes-Oxley Act of 2002) Law text · (k)
• Pub. L. 107–204, §409, added subsec. (l). (Sarbanes-Oxley Act of 2002) Law text · (l)

1990

• Pub. L. 101–432 added subsec. (h). · (h)

1988

• Pub. L. 100–418 added pars. (4) to (7). · (b)
• Pub. L. 100–241 inserted "or any equity security issued by a Native Corporation pursuant to section 1629c(d)(6) of title 43". · (d)

1987

• Pub. L. 100–181, §315, struck out "of" after "thereof". · (c)
• Pub. L. 100–181, §316, struck out subsec. (h) which required Commission to report to Congress within thirty months of Dec. 19, 1977, with respect to effectiveness of ownership reporting requirements contained in this chapter and desirability and feasibility of reducing or otherwise mod… · (h)

1983

• Pub. L. 98–38 added par. (3). · (e)

1977

• Pub. L. 95–213, §102, designated existing provisions as par. (1) and added pars. (2) and (3). · (b)
• Pub. L. 95–213, §202, inserted references to residence and citizenship of persons and to nature of beneficial ownership of persons in subpar. (A), and inserted references to background, identity, residence, and citizenship of associates of persons in subpar. (D). · (d)
• Pub. L. 95–213, §203, added subsecs. (g) and (h). · (g), (h)

1976

• Pub. L. 94–210 substituted provisions relating to exceptions for inconsistent rules and regulations, for provisions relating to reporting requirements for carriers subject to the provisions of section 20 of title 49, or other carriers required to make reports of the same general charac… · (b)

1975

• Pub. L. 94–29 added subsec. (f). · (f)

1970

• Pub. L. 91–567, §1(a), included equity securities of insurance companies which would have been required to be registered except for the exemption contained in section 78l(g)(2)(G) of this title, and substituted "5 per centum" for "10 per centum". · (d)
• Pub. L. 91–567, §1(b), added par. (5) and redesignated former par. (5) as (6). · (d), (6)
• Pub. L. 91–567, §2, inserted provisions empowering the Commission to make rules and regulations implementing the paragraph in the public interest and for the protection of investors. · (e)

1968

• Pub. L. 90–439 added subsecs. (d) and (e). · (d), (e)

1964

• Pub. L. 88–467 substituted provisions which require the issuer of a security registered pursuant to section 78l of this title to file reports with the Commission rather than with the exchange and to furnish the exchange with duplicate originals and prohibit the Commission from requirin… · (a)